Calvin Lee

PENSERRA WEALTH MANAGEMENT

San Francisco, CA

CRD#: 4596416

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Professional summary

Calvin Lee, CFP® is a registered financial advisor currently at PENSERRA WEALTH MANAGEMENT located in San Francisco, California.

Calvin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Calvin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Calvin Lee's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

June 7, 2026 - Present

PENSERRA WEALTH MANAGEMENT

RIA

CRD#: 333218

San Francisco, CA

Past

January 18, 2022 - November 18, 2025

GAMMA INVESTING LLC

RIA

CRD#: 312573

SAN MATEO, CA

Past

April 22, 2021 - February 7, 2022

SHUM FINANCIAL GROUP, INC.

RIA

CRD#: 285426

ALAMEDA, CA

Past

August 21, 2014 - February 6, 2020

PENSERRA SECURITIES, LLC

CRD#: 145994

ORINDA, CA

Past

January 26, 2007 - October 17, 2013

BLACKROCK EXECUTION SERVICES

CRD#: 39438

SAN FRANCISCO, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PENSERRA WEALTH MANAGEMENT

PENSERRA WEALTH MANAGEMENT | PENSERRA WEALTH MANAGEMENT LLC

CRD#: 333218 / SEC#: 801-131343

RIA

Registered Investment Advisory firm - (10/24/2024 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(6/7/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 9/8/2020

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/7/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/19/2013

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/25/2007

General Securities Representative Examination

Current Firm

PENSERRA WEALTH MANAGEMENT

PENSERRA WEALTH MANAGEMENT | PENSERRA WEALTH MANAGEMENT LLC

CRD#: 333218 / SEC#: 801-131343

RIA

Registered Investment Advisory firm - (10/24/2024 Approved)

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Contact information

Main Address

4 Orinda Way 100-a, Orinda, CA, 94563

Mailing Address

Phone number

(415) 717-9276

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PENSERRA WEALTH MANAGEMENT DISCLOSURES BROCHURE (1/22/2026)

PENSERRA WEALTH MANAGEMENT WRAP FEE BROCHURE (1/22/2026)

Regulatory assets under management

Total Number of Accounts	8
AUM (Assets Under Management)	$ 2,500,000

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Calvin Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Calvin Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAMMA INVESTING LLC

SHUM FINANCIAL GROUP, INC.

PENSERRA SECURITIES, LLC

BLACKROCK EXECUTION SERVICES

Primary Firm SEC Registration

PENSERRA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 9/8/2020

Series 63

Date: 1/7/2008

SIE

Date: 10/1/2018

Series 3

Date: 12/19/2013

Series 7

Date: 1/25/2007

Current Firm

PENSERRA WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PENSERRA WEALTH MANAGEMENT

TRUST BUT VERIFY

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